Compliance Monitoring Methods
About Compliance Monitoring Methods
The Compliance Monitoring Methods that ReliabilityFirst uses include compliance audits, self-certifications, and spot checks.
ReliabilityFirst uses Align and the Secure Evidence Locker (SEL) to securely collaborate and exchange information with entities during Compliance Audits and Self-Certifications. Align and the Secure Evidence Locker (SEL) are tools used by the North American Electric Reliability Corporation (NERC), Regional Entities, and registered entities that support the ERO Enterprise Compliance Monitoring and Enforcement Program (CMEP) and other business processes. For assistance with Align, please see the NERC training page.
Compliance Audit
Auditing is one of the primary tools used by ReliabilityFirst to monitor compliance and ensure Bulk Power System reliability.
- Compliance Audits may be conducted onsite or offsite based on risk.
- ReliabilityFirst auditors abide by the NERC Code of Conduct and Conflict of Interest provisions, respect confidentiality, and have completed NERC auditor training.
- Please refer to the NERC Compliance Monitoring and Enforcement Program for additional information on ReliabilityFirst’s audit process and audit reports.
ReliabilityFirst uses Align and the Secure Evidence Locker (SEL) to securely collaborate and exchange information with entities during Compliance Audits and Self-Certifications.
If you have any questions, please visit our Contact Us page and direct your question to the Compliance group.
Self-Certification
The Self-Certification is a monitoring method where a Registered Entity completes a self-assessment of its compliance with applicable Standards and Requirements, and submits substantiating evidence that validates compliance.
- The entity will complete a Self-Certification by answering questions provided by ReliabilityFirst.
- ReliabilityFirst will review the responses and evidence provided, to ensure that any risk to the Bulk Power System has been addressed, and to ensure the entity is compliant with the Requirement.
- ReliabilityFirst will also provide possible process improvements and guidance to the entity, when appropriate.
If you have any questions regarding Self-Certifications, please visit our Contact Us page and direct your question to the Compliance group.
Spot Checks
The Spot Check is a tool used by ReliabilityFirst to monitor compliance and ensure reliability.
- Spot Checks are risk-based and initiated as part of an entity’s Compliance Oversight Plan, or in response to events or operating problems.
- Spot Checks may also be initiated at any time to verify or confirm Self-Certifications, Self-Reports, Settlement Agreements, Mitigation Plan Verification and Periodic Data Submittals.
- During a Spot Check, ReliabilityFirst may ask for a data submittal or visit the entity’s site for an audit or observation. ReliabilityFirst will review the information submitted to verify the registered entity’s compliance with the Reliability Standard.
ReliabilityFirst uses Align to securely collaborate and exchange information with entities during Spot Checks.
If you have any questions regarding Spot Checks, please visit our Contact Us page and direct your question to the Compliance group.